First Trust Exchange-Traded AlphaDEX Fund - First Trust Utilities AlphaDEX Fund
US ˙ ARCA ˙ US33734X1845

SecurityFXU / First Trust Exchange-Traded AlphaDEX Fund - First Trust Utilities AlphaDEX Fund
InstitutionCommonwealth Equity Services, Inc
Latest Disclosed Ownership43,181 shares
Latest Disclosed Value $ 1,167,000
Commonwealth Equity Services, Inc reports 3.37% increase in ownership of FXU / First Trust Exchange-Traded AlphaDEX Fund - First Trust Utilities AlphaDEX Fund

On February 16, 2018 - Commonwealth Equity Services, Inc filed a 13F-HR/A form disclosing ownership of 43,181 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Utilities AlphaDEX Fund (US:FXU) valued at $1,166,751 USD as of September 30, 2017. The entity filed a previous 13F-HR/A on February 16, 2018 disclosing 41,772 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Utilities AlphaDEX Fund. This represents a change in shares of 3.37% during the quarter. The current value of the position is $2,092,551 USD.

Institutional Ownership: 13F and NPORT Filings

The Security and Class in the table below are shown exactly as filed by the investor. We do our best to track continuity of investments through acquisitions, and this will be reflected in the table as changes in names. In addition to descriptive data, performance of the investment is shown over time. To calculate quarterly performance, we first calculate cost basis of the shares purchased during the quarter, then use that to calculate gross profit. Quarterly return is Gross Profit / Starting Portfolio value.

Note that cost basis is calculated and stored in thousands, so small quarterly changes in shares frequently result in a cost basis of zero.

Upgrade to unlock premium data and export to Excel .

Disclosed Equity Positions (from 13F/NPORT Filings)
File
Date		 Effective
Date		Form Security Class ID Avg Price
Paid (Est)		 Reported
Shares		 ΔShares ΔShares
(%)		 Reported
Value
(x1000)		 ΔValue
(%)		 Alloc
(%)		 ΔAlloc ΔAlloc (%) Cost Basis
(x1000)		 Unrealized
Gain/Loss
(x1000)
2018-02-16 2017-09-30 13F/A-1 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 43,181 1,409 3.37 1,167 2.82 0.0070
2017-11-07 2017-09-30 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 43,181 1,410 1,166
2018-02-16 2017-06-30 13F/A-1 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 41,772 2,125 5.36 1,135 4.51 0.0072
2017-08-11 2017-06-30 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 41,771 2,124 1,134
2018-02-16 2017-03-31 13F/A-1 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 39,647 1,683 4.43 1,086 7.00 0.0073
2017-05-15 2017-03-31 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 39,647 1,683 1,086
2018-02-16 2016-12-31 13F/A-1 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 37,964 -1,106 -2.83 1,015 0.20 0.0075
2017-02-01 2016-12-31 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 37,964 -1,106 1,015
2016-10-25 2016-09-30 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 39,070 77 0.20 1,013 -3.89 0.0080
2016-08-04 2016-06-30 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 38,993 -7,310 -15.79 1,054 -12.39 0.0089
2016-04-27 2016-03-31 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 46,303 26,873 138.31 1,203 176.55 0.0107
2016-01-19 2015-12-31 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 19,430 1,917 10.95 435 9.85 0.0041
2015-10-27 2015-09-30 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 17,513 -1,251 -6.67 396 -4.12 0.0042
2015-07-28 2015-06-30 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 18,764 112 0.60 413 -6.35 0.0041
2015-04-28 2015-03-31 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 18,652 589 3.26 441 -1.78 0.0046
2015-01-13 2014-12-31 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 18,063 -2,609 -12.62 449 -4.06 0.0050
2014-10-17 2014-09-30 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 20,672 183 0.89 468 -4.29 0.0057
2014-07-23 2014-06-30 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 20,489 -489 -2.33 489 4.71 0.0060
2014-05-07 2014-03-31 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 20,978 20,978 77.19 467 97.88 0.0065
2014-02-11 2013-12-31 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 0 -11,839 -100.00 0 -100.00
2013-11-04 2013-09-30 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 11,839 -1,262 -9.63 236 -8.88 0.0038
2013-07-29 2013-06-30 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 13,101 259
Legend
Shares
The total number of shares held by the institution at the end of the reporting period (the effective date). This is provided in the filing.
Value
The total value of the shares as of the effective date. This is provided in the filing.
Avg. Share Price
The weighted average share price of the shares held by the institution. We use FIFO accounting to determine this price
Class
This is the security class as indicated by the filer. There are a variety of values for this field. Common values include "EC" = equity common, "EP" - equity preferred
Allocation (%)
The percent of the institution's portfolio that this position represents. This is provided in NPORT filings. For 13F filings, we calculate it.
Change in Allocation
The change in allocation from the prior reporting period. This is calculated as current allocation - prior allocation.
Change in Allocation (%)
The percent change in allocation from the prior reporting period. This is calculated as (current allocation - prior allocation) / prior allocation.
Cost Basis
The total cost of the shares held. This is calculated as reported shares * avg. share price
Unrealized Gain/Loss
This is the market value of the position as of the effective date minus the cost basis.